Regulatory Investigations & Enforcement

When your business or one of your personnel comes under investigation by a regulatory or professional body it can have a serious impact. Simply being subject to an investigation can result in a significant investment in management time; damage to reputation; increased insurance premiums; loss of professional accreditations, panel memberships or quality ratings; the loss of investors, customers and clients; and, ultimately, a reduction in profits.

If your business or one of your employees or partners is subject to an investigation by your regulator we can assist in mitigating the impact on your business and guiding you through the investigatory proceedings and, if it comes to it, the fitness to practice or disciplinary hearing that might result.

Whether you are under investigation by a regulatory body, already subject to disciplinary proceedings or whether you wish to challenge conditions or the refusal of a registration or licence, we are available to give you realistic and practical advice about the way ahead.

Early Action

Whatever your issues with your regulator it is important that you get advice as early as possible as your responses to interviews and allegations at an early stage, when you are under considerable pressure and in unfamiliar and often confusing circumstances, may significantly influence the ultimate outcome.

Commercial Approach

We can assist with giving advice on the potential outcomes of the allegations, attending in interviews, making written submissions and statements to your regulatory body on your behalf or representing you at a tribunal or fitness to practice hearing. You can always be sure that our solicitors will take a commercial and pragmatic approach and will be focused on the best interests of your business.

We can advise and assist across a wide range of regulatory regimes and investigations by regulatory and professional bodies including:

Legal Services

  • The Solicitors Regulation Authority (SRA)
  • The Council for Licenced Conveyancers (CLC)
  • The Chartered Institute of Legal Executives (CILEX)
  • The Bar Standards Board (BSB)

Accounting and Finance

  • The Accountancy & Actuarial Discipline Board (AADB)
  • The Chartered Institute of Public Finance & Accounting (CIPFA)
  • The Financial Conduct Authority (FCA)
  • The Institute of Chartered Accountants of England and Wales (ICAEW)
  • The Chartered Institute of Management Accountants (CIMA)
  • The Association of Chartered Certified Accountants (ACCA)

Healthcare and Medical

  • The General Medical Council (GMC)
  • The Nursing and Midwifery Council (NMC)
  • The General Optical Council (GOC)
  • The Health and Care Professions Council (HCPC)
  • The General Pharmaceutical Council (GPhC) 
  • The General Chiropractic Council (GCC)
  • The General Dental Council (GDC)
  • The Care Quality Commission (CQC)

General

  • Office of the Transport Commissioner
  • Trading Standards
  • The Food Standards Authority (FSA)
  • The Information Commissioners’ Office (ICO)
  • Director Disqualification proceedings

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